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Registered Investment Advisors
           
           
Firm Name City State Country Assets ($M) 
Bd Financial Service, Inc. 13.5 
Bdc Advisory, LLC Memphis TN US 0.0 
Bdc Capital Management, Inc. Glen Allen VA US 61.5 
Bdca Adviser Ii, LLC New York NY US 0.3 
Bdca Adviser, LLC New York NY US 2616.3 
Bdf Financial LLC 0.0 
Bdk Capital Paris FR 0.0 
Bdk Consulting, LLC 0.0 
Bdk Financial Service, Inc. 26.8 
Bdkmarketgroup Investment Management LLC Wellesley MA US 14.0 
Bdm Investments, Inc. Kennesaw GA US 11.3 
Bdo Wealth Advisors, LLC St. Louis MO US 344.5 
Bdr Associates, LLC North Bethesda Md 0.0 
Bdt Capital Partners Chicago IL US 12572.5 
Be Investment Management 6.0 
Beach Cities Wealth Management, LLC Manhattan Beach CA US 69.8 
Beach Glass Management, Inc. Woburn MA US 5.0 
Beach Investment Counsel, Inc West Conshohocken PA US 1227.2 
Beach Investment Management LLC. West Conshohocken PA US 81.7 
Beach Point Capital Management LP Santa Monica CA US 13032.5 
Beach Street Financial Service LLC Narragansett RI US 0.0 
Beachhead Capital Management, LLC New York NY US 521.5 
Beachwood Ventures Beverly Hills CA US 0.0 
Beacon Advisors, Inc. 3.5 
Beacon Asset Management Owensboro KY US 10.3 
Beacon Asset Management Inc. Tampa FL US 12.0 
Beacon Bay Asset Management LLC Peoria AZ US 5.0 
Beacon Capital Management, Inc. Hauppauge NY US 0.0 
Beacon Capital Management, Inc. Dayton OH US 2020.5 
Beacon Capital Management, LLC Franklin TN US 153.3 
Beacon Capital Partners, LLC Boston MA US 3240.3 
Beacon Capital, LLC Darien CT US 42.2 
Beacon Financial Advice And Research, LLC 0.0 
Beacon Financial Advisers, Inc. Conyers GA US 64.5 
Beacon Financial Advisors Rye Brook NY US 116.7 
Beacon Financial Advisors Limited Houston TX US 217.8 
Beacon Financial Advisors, LLC 0.0 
Beacon Financial Advisory LLC Cleveland OH US 227.7 
Beacon Financial Group Dallas TX US 692.4 
Beacon Financial Management LLC 0.8 
Beacon Financial Partners Huntington Beach CA US 16.7 
Beacon Financial Planning Of Cape Cod Hyannis MA US 0.0 
Beacon Financial Planning, Inc. South Easton MA US 0.0 
Beacon Financial Planning, LLC Logan UT US 36.7 
Beacon Financial Strategies Corporation. Raleigh NC US 54.6 
Beacon Hill Investment Advisory, LLC Columbus OH US 39.8 
Beacon India Managers Limited Port Louis MU 0.0 
Beacon Investment Advisers, LLC Northampton MA US 15.0 
Beacon Investment Advisors LLC Gaithersburg MD US 62.0 
Beacon Investment Group New York NY US 1.7 
Beacon Investment Management 4.1 
Beacon Investment Management, LLC Boston MA US 128.9 
Beacon Pointe Advisors, LLC Newport Beach CA US 6658.3 
Beacon Pointe Wealth Advisors, LLC Newport Beach CA US 1779.2 
Beacon Rock Partners Portland OR US 184.1 
Beacon Street Capital, LLC Atlanta GA US 31.7 
Beacon Trust Morristown NJ US 473.4 
Beacon Trust Morristown NJ US 1197.0 
Beacon Vp Capital, LLC 49.0 
Beacon Wealth Consultants, Inc. Roanoke VA US 85.2 
Beacon Wealth Management, LLC Hackensack NJ US 237.9 
Beacon Wealth Solutions LLC Monroe NJ US 2.0 
Beacon Wealthcare, Inc. Raleigh NC US 89.4 
Beaconcrest Capital Management Boston MA US 5.1 
Beaconfire Capital Management LLC Greenwich CT US 0.0 
Beaconlight Capital, LLC New York NY US 374.5 
Beadell A D Investment Counsel Inc Mequon WI US 190.0 
Beaird Harris Dallas TX US 923.5 
Beal Consulting, Inc. Boston MA US 54.0 
Beale Healy Investment Advisors Inc Richmond VA US 65.8 
Beall Financial Planning, Inc. Macon GA US 20.9 
Beam Asset Management Covington LA US 373.3 
Beam Capital Management, LLC 1.1 
Bean Leamy, Christy M 0.0 
Beantown Financial Advisors LLC 17.9 
Bear Creek Asset Management, LLC Denver CO US 10460.0 
Bear Mountain Capital Inc. Seattle WA US 65.0 
Bear Stearns Asset Management Inc. New York NY US 358.6 
Beard Investment Service, Inc. Youngstown OH US 196.8 
Bearden Wealth Strategies Group Palmer Lake CO US 0.7 
Bearing Circle Advisors LLC Old Greenwich CT US 0.0 
Bearing Point Wealth Partners Hampton NH US 205.0 
Beaton Management Co Inc Haverhill MA US 197.0 
Beatty, Richard Walden 9.0 
Beaudean & Associates 1.3 
Beaulieu Financial Service, LLC Somers CT US 46.0 
Beaumont Asset Management, LLC. Beaumont TX US 142.0 
Beaumont Financial Partners LLC Needham MA US 1505.7 
Beauport Financial Service LLC Gloucester MA US 0.0 
Beck Asset Management SA Zurich CZ 27.0 
Beck Bode Wealth Management, LLC Dedham MA US 175.5 
Beck Capital Management LLC Austin TX US 262.9 
Beck Financial Strategies, Inc. Indianapolis IN US 0.0 
Beck Investment Management, LLC Palo Alto CA US 22.1 
Beck, Mack & Oliver LLC New York NY US 3555.8 
Becker Capital Management 4.4 
Becker Capital Management, Inc. Portland OR US 3508.5 
Becker Financial Group Walnut Creek CA US 0.0 
Becker Financial Service Grand Rapids MI US 7.0 
Beckerman Institutional, LLC Oakhurst NJ US 49.1 
Beckwith Investment Management 0.0 
Becky H Salsburg, Cfp, Ea LLC Lake Oswego OR US 0.0 
Beddow Capital Management Inc Jackson WY US 267.7 
Bedel Financial Consulting Inc Indianapolis IN US 996.5 
Bedell Frazier Investment Counselling, LLC. Walnut Creek CA US 454.0 
Bedfield Asset Management, LLC 5.8 
Bedford Funding White Plains NY US 452.1 
Bedford Street Capital Management Seattle WA US 0.0 
Bedics Financial Inc. 5.5 
Bedminster Capital Management LLC Darien CT US 280.0 
Bedrock Investment Advisors Scottsdale AZ US 35.8 
Bedrock Wealth Management, LLC New York NY US 1.3 
Bee Partners Management Company, LLC San Francisco CA US 0.0 
Beech Hill Advisors, Inc New York NY US 221.4 
Beecher Financial Planning, LLC Great Falls MT US 0.0 
Beecher Investors, Inc. Stamford CT US 100.0 
Beechtree Capital Investment, Inc. 41.6 
Beechwood Capital Management, Inc. Cincinnati OH US 7.1 
Beechwood Financial Service, LLC 0.0 
Beechwood Investment Management Inc. Sandwich MA US 39.0 
Beecken Petty O'keefe & Company, LLC Chicago IL US 824.9 
Beekman Financial Planning LLC New York NY US 19.5 
Beekman Investment Advisors New York NY US 410.1 
Beekman Wealth Advisory, LLC New York NY US 357.0 
Beeline Capital Advisors LLC 1.2 
Been Legacy Wealth Advisors, LLC Houston TX US 1.4 
Beene Financial Planning 0.0 
Beers Kight Financial Advisors, LLC Columbia SC US 139.9 
Beese Fulmer Private Wealth Management Canton OH US 517.2 
Beeson And Company, LLC 25.0 
Bef Investments LLC New York NY US 0.0 
Behlke Financial Independence OH US 7.2 
Behrman Brothers Management Corporation. New York NY US 783.4 
Beihoff Capital Management, LLC 8.4 
Beijing Equity Investment DEVE Management Co., Limited. Beijing CN 0.0 
Beijing Hony Yuanfang Investment Consulting Co L Beijing CN 0.0 
Beijing Sinuobo Capital Management Limited Chaoyang District, Beijing CN 36.9 
Beirne Wealth Consulting Service, LLC Shelton CT US 2001.3 
Bel Air Investment Advisors LLC Los Angeles CA US 6573.4 
Bel Air Investment Advisors LLC Los Angeles CA US 6573.4 
Bel Air Management, LLC Los Angeles CA US 0.0 
Bela Capital LLC Des Moines IA US 0.0 
Belay Group, LLC Baltimore MD US 6.7 
Belay Investment Group, LLC Sherman Oaks CA US 200.0 
Belhealth Investment Partners, LLC New York NY US 477.6 
Believers Stewardship Service, Inc. Dubuque IA US 21.4 
Belinda Leslie A Registered Investment Adviser, Inc. Franklin TN US 10.2 
Bell & Brown Wealth Advisors, LLC Newport Beach CA US 190.0 
Bell & Brown Wealth Advisors, LLC Newport Beach CA US 190.0 
Bell Asset Management Limited Melbourne US 240.5 
Bell Asset Management Usa Inc New York NY US 240.5 
Bell Investment Advisors Inc Oakland CA US 490.2 
Bell Investment Associates Scottsdale AZ US 0.6 
Bell Mountain Capital, LLC 0.0 
Bell Rock Asset Management LLC 10.7 
Bell Rock Capital, LLC Rehoboth Beach DE US 214.2 
Bell Strategic Investments, Inc. 32.0 
Bell Tower Advisors, LLC Chagrin Falls OH US 4.7 
Bell Wealth Management Inc. Austin TX US 150.7 
Bell, David Trigg Rockwall TX US 0.0 
Bellaire Capital Management, LLC Houston TX US 1.5 
Bellatore Financial, Inc. San Jose CA US 317.3 
Belle Haven Investments, L.P. Rye Brook NY US 5622.9 
Belleair Wealth Management, LLC Belleair Bluffs FL US 29.4 
Bellecapital International Zurich CZ 499.0 
Bellevue Asset Management, LLC Bellevue WA US 195.0 
Bellguard Capital Management, LP New York NY US 0.0 
Bellingham Capital Bellingham WA US 30.0 
Bellinghamfinancialplanners.com 25.0 
Belliston Financial Advisors, Lc 3.7 
Belloadvisers, LLC Kailua HI US 72.3 
Bellwether Capital Management LLC San Ramon CA US 35.0 
Bellwether Consulting LLC Millburn NJ US 0.0 
Bellwether Financial Advisors 0.0 
Bellwether Investment Group, LLC Chattanooga TN US 235.4 
Bellwood Capital Fund Advisors Newlands SA 21.0 
Belmont Capital Group Los Angeles CA US 886.9 
Belmont Capital Group Los Angeles CA US 886.9 
Belmont Financial, LLC Belmont MA US 66.2 
Belmont Global Advisors, Inc. Dallas TX US 313.5 
Belmore Financial, LLC 0.0 
Belpointe Asset Management LLC Greenwich CT US 622.6 
Belridge Capital, LLC Chicago IL US 87.0 
Belser Pinnacle Financial Advisors, LLC Bellefontaine OH US 0.0 
Belstar Management Company, LLC New York NY US 81.6 
Beltramo Financial Service Inc. Irvine CA US 15.0 
Belvedere Advisors LLC 120.0 
Belvedere Advisors LLC 120.0 
Belvedere Capital Advisor Corporation. Miami FL US 0.0 
Belveron Real Estate Partners, LLC San Francisco CA US 398.7 
Belville Financial Advisors Monterey CA US 0.0 
Belwood Capital Management, LLC 5.7 
Bemanaged Grand Rapids MI US 406.4 
Ben-david Financial Planning Redwood City CA US 38.0 
Benchmark Capital Advisors, Inc. New York NY US 195.7 
Benchmark Capital Group Limited. Galena IL US 69.7 
Benchmark Capital Holdings Woodside CA US 0.0 
Benchmark Capital Management Corporation Portsmouth NH US 8.9 
Benchmark Financial Limited Phoenix AZ US 40.0 
Benchmark Investment Advisors, LLC 0.9 
Benchmark Israel Vc 2007 Limited Tel Aviv IL 0.0 
Benchmark Plus Management Tacoma WA US 614.5 
Benchmark Private Wealth Management, LLC Dallas TX US 87.6 
Benchmark Wealth Advisors, LLC Temecula CA US 0.0 
Benchmark Wealth Management, LLC Old Lyme CT US 151.5 
Bencis Capital Partners BV Amsterdam NL 0.0 
Bender Lane Advisory, LLC Albany NY US 168.8 
Bender Robert & Associates Pasadena CA US 164.4 
Bender, Julian 2.1 
Benedetti, Gucer & Associates Atlanta GA US 88.0 
Benedetti, Trent J Santa Maria CA US 6.0 
Benedict Financial Advisors, Inc. Atlanta GA US 211.5 
Benedict Financial Planning Baton Rouge LA US 21.2 
Beneficent Wealth Management, LLC Pasadena CA US 1.8 
Benefit & Investment Consulting, LLC 73.3 
Benefit Financial Service Group Irvine CA US 350.5 
Benefit Funding Retirement Service, LLC Anaheim Hills CA US 0.0 
Benefit Solutions Of America LLC Hollywood FL US 0.0 
Benefit Street Partners LLC. New York NY US 11840.8 
Benefits Plus, LLC Napa CA US 0.0 
Benefitworks, Inc. Lebanon PA US 96.2 
Benelopez San Francisco Ca 0.0 
Benemark, Inc Westport CT US 162.2 
Beneprime Advisory Service LLC 0.0 
Benexit Advisors LLC 0.8 
Bengal Asset Management, LLC Burlingame CA US 0.0 
Benin Management Corporation 322.2 
Benjamin A. Pope Iii Norfolk VA US 16.5 
Benjamin F. Edwards & Company, Inc St. Louis MO US 5298.8 
Benjamin Madison Wealth Advisors, LLC San Francisco CA US 0.0 
Benjamin Securities Investment Company, Inc. 0.0 
Benjamin Securities, Inc. Hauppauge NY US 31.5 
Benkei Asset Management Gardiner NY US 10.9 
Bennco Advisors Colorado Springs CO US 1.1 
Bennelong Asset Management Hk Limited Hong Kong HK 0.0 
Bennelong Asset Management Limited St Helier JE 0.0 
Bennelong Asset Management LLP London UK 0.0 
Bennett And Company Financial Solutions, LLC Stamford CT US 0.0 
Bennett Capital Management 3.5 
Bennett Financial Advisors, LLC Oxford OH US 5.3 
Bennett Financial Strategies Sacramento CA US 0.0 
Bennett Selby Investments, L.P. Falmouth ME US 20.0 
Bennett Wealth Advisors Mansfield TX US 2.6 
Bennett, Herman & Geertsen, LLC. Clackamas OR US 0.0 
Bennicas & Associates, Inc. Woodside CA US 164.2 
Benning Financial Advisors 4.2 
Benning Financial Group, LLC Fairfield CA US 39.7 
Benningfield Financial Advisors, LLC San Francisco CA US 138.3 
Bennington Asset Management, Inc. Pittsburgh PA US 29.2 
Bennington Financial Planning Group Bennington VT US 40.0 
Benson Advisory Service & Asset Management Sycamore Il 0.0 
Benson Elliot Capital Management London UK 0.0 
Benson Investment Management Company, Inc. 134.2 
Benson L K & Co P C Towson MD US 227.2 
Bentall Kennedy (u.s.) LP Seattle WA US 13113.0 
Bentley Financial Group Downers Grove IL US 63.0 
Bentley Wealth Management, LLC Marblehead MA US 3.2 
Benvenuto Financial Advisory, LLC 0.0 
Benxcoh Financial Advisors LLC 1.2 
Benzer Capital Sugar Land TX US 14.6 
Beplat Asset Management, Inc. 14.2 
Beram Plan Management Centennial CO US 13.8 
Berardi, Gottstine & Miller, CpaSP.c. Kingston NY US 0.0 
Berenberg Asset Management LLC Chicago IL US 144.0 
Berenberg Asset Management LLC Chicago IL US 165.0 
Berens Capital Management, LLC New York NY US 848.2 
Berenz Wealth Management, LLC Littleton CO US 2.7 
Berg Faircloth Investment Advisors Leesburg VA US 27.2 
Berg Investment Planning 54.2 
Bergankdv Wealth Management, LLC Bloomington MN US 1351.5 
Bergdoll Financial Advisors, LLC 13.0 
Bergen Asset Management, LLC New York NY US 0.0 
Bergen Private Wealth Management Englewood NJ US 0.0 
Berger Asset Management, Inc. Turlock CA US 42.1 
Berger Capital Management, LLC Beachwood OH US 0.1 
Berger Wealth Management, LLC 11.5 
Bergeron Wealth Management Co., LLC Houston TX US 28.5 
Bergland Wealth Management, Inc. Ridgeland MS US 39.2 
Bergman Investment Management 180.5 
Bergquist Wang, LLC Santa Barbara CA US 129.6 
Beringea, LLC Farmington Hills MI US 357.1 
Beringer Capital GP Iii Inc. Toronto, Ontario CA 0.0 
Berk Cleveland Rathmell Wealth Strategies, LLC Vestavia AL US 226.7 
Berkeley Capital Management, LLC Ellsworth KS US 10.6 
Berkeley Capital Partners, LLC Norcross GA US 357.8 
Berkeley Capital Partners, LLC Norcross GA US 357.8 
Berkeley Free LLC 0.0 
Berkeley Investment Advisors San Francisco CA US 11.7 
Berkeley Partners Management, LLC San Francisco CA US 330.1 
Berkeley Square Capital Management, LLC Boulder CO US 104.2 
Berkeley, Inc Boise ID US 190.2 
Berknell Financial Group, LLC Bladensburg MD US 0.0 
Berkshire Advisors, Inc. Wyomissing PA US 70.5 
Berkshire Asset Management, LLC Wilkes-barre PA US 1320.7 
Berkshire Capital Holdings Inc San Jose CA US 57.1 
Berkshire Financial Service LLC Reading PA US 0.0 
Berkshire Financial Strategies, LLC 0.0 
Berkshire Money Management, Inc. Pittsfield MA US 377.2 
Berkshire Partners LLC Boston MA US 13073.7 
Berkshire Property Advisors, LLC Boston MA US 7811.7 
Berkshire Property Advisors, LLC Boston MA US 7811.7 
Berkshire Realty Ventures, LLC. Boston MA US 204.9 
Berkson Asset Management, Inc. Woodland Hills CA US 156.5 
Berla Investment Consulting Walnut Creek CA US 0.0 
Berman Capital Advisors, LLC Atlanta GA US 1152.4 
Berman, Gil 0.0 
Berman, Sosman & Rosenzweig, LLC Bellmore NY US 0.0 
Berman, Steven M. 309.2 
Bermont Investments Limited Shanghai CN 0.0 
Bermuda Investment Advisory Service Limited Hamilton BM 192.6 
Bernard & Johnson, LLC Pasadena CA US 47.4 
Bernard & Johnson, LLC Pasadena CA US 49.0 
Bernard L. Madoff Investment Securities LLC New York NY US 17091.6 
Bernard Wealth Management Corporation. Southfield MI US 62.2 
Bernard, James A. 13.0 
Bernardi Asset Management, LLC Chicago IL US 135.6 
Bernardi Asset Management, LLC Chicago IL US 135.6 
Berndt & Associates Inc Hartville OH US 25.1 
Bernhard Capital Management Guilford CT US 4.0 
Bernhard Capital Partners Management, LP Baton Rouge LA US 891.4 
Bernhardt Capital Advisors, LLC 0.6 
Bernhardt Wealth Management, Inc. Mclean VA US 345.5 
Bernicke Wealth Management, Limited. Altoona WI US 201.5 
Bernicke Wealth Management, Limited. Altoona WI US 201.5 
Berno Financial Management Inc Cincinnati OH US 179.4 
Bernstein And Kelly, LLC Lexington MA US 3.0 
Bernstein, Robert E 0.0 
Bernstein, Robert Jay 0.0 
Berntson Porter Wealth Management, LLC Bellevue WA US 0.0 
Bernzott Capital Advisors Camarillo CA US 655.3 
Berrenberg Wealth Management LLC Albuquerque NM US 27.8 
Berry Financial Securities, LLC Myrtle Beach SC US 2.9 
Berrydunn Wealth Management Portland ME US 0.0 
Berson & Corrado Investment Advisors, LLC Ramsey NJ US 328.9 
Berson & Corrado Investment Advisors, LLC Ramsey NJ US 328.9 
Berson Money Management 24.7 
Bersot Capital Management, LLC Larkspur CA US 78.7 
Bert Reames Investment Advisors, Inc. Port Orange FL US 0.0 
Bert Riddell Cramer, Investment Adviser 4.3 
Berthel Fisher & Company Financial Service, Inc. Cedar Rapids IA US 585.9 
Bertolet Capital LLC New York NY US 68.0 
Bertram Capital Management LLC San Mateo CA US 1052.3 
Bertram Financial Advisor Service LLC Mineral Point WI US 0.0 
Bertrand Wealth Strategies, LLC. Oklahoma City OK US 0.0 
Beryl Capital Management, LLC Redondo Beach CA US 125.3 
Berylian Capital, LLC Miami FL US 29.7 
Berylson Capital Partners LLC Boston MA US 0.0 
Bespoke Investment Group, LLC Harrison NY US 14.4 
Bessemer Investment Management LLC New York NY US 30771.2 
Bessemer Venture Partners Larchmont NY US 0.0 
Best Capital Management, LLC Alpharetta GA US 0.0 
Best Financial Service Cardff By The Sea CA US 0.0 
Best Minds, Inc. Denton TX US 2.9 
Bestvest Investments, Limited. Media PA US 49.5 
Beta Capital Advisors LLC Hingham MA US 34.6 
Beta Capital Management LLC Miami FL US 191.0 
Beta Management Consulting 15.3 
Beta Wealth Group, Inc San Diego CA US 207.7 
Betafrontier 39.3 
Betaworks Investments, LLC New York NY US 0.0 
Betaworks Ventures Management, LLC New York NY US 0.0 
Beth Wright Woodside, Cfp Greenville SC US 102.2 
Bethesda Financial Advisors, LLC Bethesda MD US 14.6 
Betro Mileszko & Company Foxboro MA US 65.3 
Better Financial Education Roseville CA US 0.0 
Better Financial Future, LLC 0.0 
Better Money Decisions Albuquerque NM US 17.8 
Better Things Financial Partners LLC 1.8 
Better Ventures Central LLC Oakland CA US 0.0 
Better Way Investment Management LLC 0.2 
Better World Investments, Inc. 4.1 
Betterment New York NY US 9058.2 
Betterwealth LLC San Jose CA US 121.1 
Betzel Wealth Advisors, LLC Gahanna OH US 0.0 
Beutel, Goodman & Company Limited. Toronto, Ont. CA 28125.1 
Bev Capital Darien CT US 0.0 
Beverly A. Mumper, Cpa, PS Aberdeen WA US 0.0 
Beverly Hills Capital Management LLC Beverly Hills CA US 16.7 
Beverly Hills Financial Planners, LLC Beverly Hills CA US 0.0 
Beverly Hills Wealth Management, LLC Beverly Hills CA US 153.5 
Beverly Hills Wealth Management, LLC Beverly Hills CA US 153.5 
Beverly Investment Advisors LLC Beverly Hills CA US 144.0 
Bexil Advisers LLC New York NY US 179.1 
Bey-douglas, LLC Investment Counsel Marietta GA US 60.4 
Beyda, Gil 0.0 
Beyer Investment Advisors, LLC 1.4 
Beyond Borders Investment Strategies, LLC 0.2 
Beyond Capital Financial Management Group, Inc. Meridian MS US 22.0 
Beyond Your Hammock 4.0 
Bf/anderson Baton Rouge LA US 30.4 
Bfa Wealth Management Boston MA US 1.3 
Bfam Partners (cayman) Limited Hong Kong HK 0.0 
Bfc Planning, Inc. Cedar Rapids IA US 519.2 
Bff Capital Management LLC San Mateo CA US 0.0 
Bfi Wealth Management International Inc. Zurich CZ 234.5 
Bfo Investments LLC Cambridge MA US 0.0 
Bfse Holdings BV 0.0 
Bft Financial Group, LLC Bedford TX US 362.9 
           
 
A Registered Investment Advisor manages assets, makes portfolio composition and individual security selection decisions for a fee, often a percentage of assets invested.

The SEC regulates investment advisors that have over $100 million in assets under management. Investment advisors that do not meet this threshold are generally regulated by the state securities agency in the state where they have their principal place of business. This website provides information about both SEC- and state-registered investment advisor firms.

Investment advisors file Form ADV to register with the SEC or the states. Form ADV contains information about an investment advisor and its business operations.
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